DFX Intelligence

R••• C•••••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

R••• C•••••• M•••••••

Advisor at M•••• C••••••• A••••••• S••••••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: M•••• C••••••• A••••••• S••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 6, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••• C••••••• A••••••• S••••••	Bd affiliated wealth	Apr 10, 2017	n/a	yes	PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|OWENSBORO, KY\|LOUISVILLE, KY	Current employment
U•• F•••••••• S••••••••• L••	Independent wealth	Mar 31, 2016	Apr 4, 2017	no	Owensboro, KY\|ADA, MI\|Fishers, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••••• L••	M•••• C••••••• A••••••• S••••••	Apr 4, 2017	Apr 10, 2017	6	Firm change	Other
M•••• C••••••• A••••••• S••••••	U•• F•••••••• S••••••••• L••	Apr 14, 2016	Mar 31, 2016

Relationships

Registered with (5)

→ M•••• C••••••• A••••••• S••••••Registered adviserregistration: previous registration
Jan 15, 2013 to Apr 14, 2016factForm ADV
→ U•• F•••••••• S••••••••• L••Registered adviserregistration: previous registration
Mar 31, 2016 to Apr 4, 2017factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Nov 15, 2012factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 10, 2009
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.